Maria I. Palermo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Maria Isabel Palermo, who also goes by Maria Isabel Vasquez, was a registered financial professional .
Maria is a previously registered financial professional and started their career in finance in 1980. Maria had worked at 11 firms and has passed the Series 63, SIE, Series 3, Series 7 and Series 52 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 21, 2019 - March 13, 2020
JANNEY MONTGOMERY SCOTT LLC
June 3, 2015 - March 15, 2019
SANTANDER US CAPITAL MARKETS LLC
March 4, 2014 - May 21, 2015
OPPENHEIMER & CO. INC.
September 9, 2011 - February 26, 2014
RAYMOND JAMES & ASSOCIATES, INC.
September 16, 2010 - September 7, 2011
COHEN & COMPANY CAPITAL MARKETS, LLC
January 9, 2009 - October 4, 2010
COHEN & COMPANY SECURITIES, LLC
July 10, 1995 - February 6, 2009
BARCLAYS CAPITAL INC.
November 8, 1988 - July 18, 1994
LEHMAN SPECIAL SECURITIES INC.
July 25, 1987 - July 18, 1995
LEHMAN GOVERNMENT SECURITIES INC.
June 27, 1984 - July 18, 1995
LEHMAN BROTHERS INC.
June 21, 1980 - June 27, 1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
Primary Firm SEC Registration
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
JANNEY MONTGOMERY SCOTT LLC
CRD#: 463 / SEC#: 801-7258, 8-462
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JUNE PURCHASER LLC | OWNER | |
| CULLEY, JOSEPH DAVID | BANKING PRINCIPAL (BP) | 4275987 |
| DOWNEY, DANEEN ELIZABETH | DEPUTY GENERAL COUNSEL | 4758790 |
| FUSCO, CHRISTOPHER | ROSFP | 5858082 |
| HALL, CAROLINE KATHRYNE | CHIEF COMPLIANCE OFFICER | 6342772 |
| HRICKO, MICHAEL J | CHIEF FINANCIAL OFFICER | 4509746 |
| LEMPA, JESSICA ELLEN | IA CCO | 5276453 |
| MCSHEA, GREGORY BURNS | GENERAL COUNSEL | 2870963 |
| MILLER, ANTHONY MATTHEW | DIRECTOR, PRESIDENT AND CEO | 4597116 |
| MULLAN, DAVID MICHAEL | PRINCIPAL OPERATIONS OFFICER | 2739186 |
| REED, KEVIN JUDE | EXECUTIVE OFFICER | 2105832 |
| RIGGI, BRETT STEPHAN | CHIEF OPERATING OFFICER | 4462496 |
Regulatory assets under management
| Total Number of Accounts | 239,256 |
| AUM (Assets Under Management) | $ 100,795,564,390 |
Disclosures
| Regulatory Event | 54 |
| Arbitration | 66 |
| Bond | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/07/2025 | ||
| 03/21/2025 | ||
| 10/09/2024 | ||
| 10/26/2023 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
